FINRA Proposes to Reinstitute Short Exempt Marking for Trade Reporting and OATS

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On August 20, the Securities and Exchange Commission published a notice that the Financial Industry Regulatory Authority proposes to adopt rule changes to its trade reporting and Order Audit Trail System (OATS) in response to recent amendments to SEC Regulation SHO. Among other things, the amendments...

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Katten Muchin Rosenman LLP on:

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